call the firm today: 203-869-8744 203-869-8744

Solidly Established Connecticut Securities Law Firm

Law Offices of Kevin T. Hoffman is a full-service securities law firm, representing corporate clients and shareholders in all aspects of the securities industry. For more than 30 years, attorney Kevin T. Hoffman has provided reliable and professional service on matters related to:
  • Securities transactions
  • Corporate oversight and compliance
  • Securities litigation
  • Securities arbitration
Providing meticulous securities oversight
Law Offices of Kevin T. Hoffman helps assure that your company is in compliance with all necessary government regulations. We offer dependable counsel with regards to:
  • Margin violations
  • Options abuse
  • Failure to supervise
  • Corporate governance
  • Draft and review policy and procedure
Aggressive litigation of your securities disputes
Controversies surrounding securities can arise between the issuing company and its shareholders, or between broker-dealers and their customers. Law Offices of Kevin T. Hoffman vigorously defends its corporate clients against shareholder class actions lawsuits for alleged violations of securities regulations, including actions under:

  • Securities Act of 1933: covering IPO liability
    • Sec. 5 (failure to register)
    • Sec. 11 (misstatements or omissions in registration statement)
    • Sec. 12 (misstatements or omissions in offering statement)
    • Sec. 17 (fraud)
  • Securities Exchange Act of 1934: covering ongoing disclosure violations
    • Sec. 10(b) Rule 10b-5 insider trading, tipping
    • Sec. 18 misleading statements in filed reports

We also defend clients against charges of control person liability directed at officers and directors.

Representation throughout the securities arbitration process
Approximately two-thirds of all securities arbitrations are between broker-dealers and their clients. The most common allegations of misconduct by a broker or a brokerage firm are:

  • Account overtrading (churning)
  • Unauthorized trading
  • Market manipulation
  • Mutual fund share class violations
  • Negligence
  • Breach of fiduciary duty
  • Omission of facts
  • Misrepresentation and fraud
  • Breach of contract
  • Unsuitability
  • Failure to supervise

Securities arbitration proceedings are intricate and must follow the strict guidelines of the Financial Industry Regulatory Authority (FINRA). Trust Law Offices of Kevin T. Hoffman for thorough and effective representation that protects your financial interest and your reputation.

Contact a determined Greenwich, Connecticut, securities law firm
To schedule an appointment with Law Offices of Kevin T. Hoffman, call 203-869-8744 or contact our office online.

The Law Offices of Kevin T. Hoffman is located in Greenwich, Connecticut, and represents clients nationwide.